3-1 CHAPTER 3. BACKGROUND
3.1 PL 112-95, Title III, Subtitle B. In 2012, Congress passed the FAA Modernization and Reform Act of 2012, PL 112-95. Section 333 of PL 112-95 directed the Secretary of Transportation to determine whether UAS operations posing the least amount of public risk and no threat to national security could safely be operated in the NAS and, if so, to establish requirements for the safe operation of these systems in the NAS. As part of its ongoing efforts to integrate UAS operations in the NAS and in accordance with Section 333, in June 2016, the FAA issued a final rule adding part 107, integrating civil small UAS into the NAS. Part 107 allows small UAS operations for many different purposes without requiring airworthiness certification, exemption, or a Certificate of Waiver or Authorization (COA).
3.2 Organization of Part 107. The FAA addresses aviation safety in three key areas:
personnel, equipment, and operations. The FAA assesses each of these areas both independently to meet current regulations and standards, as well as collectively to ensure no conflicts exist overall that would create an unsafe condition. This approach allows the FAA to be flexible in responding to the needs of the aviation community while still being able to establish standards for future growth and development. To that end, part 107 contains subparts that focus on each of these key aviation safety areas specific to small UAS, and the chapters in this AC are organized in the same manner.
4-1 CHAPTER 4. PART 107 SUBPART A, GENERAL
4.1 Applicability. This chapter provides guidance regarding the applicability of part 107 to civil small unmanned aircraft operations conducted within the NAS. However, part 107 does not apply to the following:
1. Limited recreational operations of UAS that occur in accordance with Title 49 of the United States Code (49 U.S.C.) § 448091;
2. Operations conducted outside the United States;
3. Amateur rockets;
4. Moored balloons;
5. Unmanned free balloons;
6. Kites;
7. Public aircraft operations; and
8. Air carrier operations.
4.2 Definitions. The following defined terms are used throughout this AC:
4.2.1 Applicant. A person who submits a declaration of compliance (DOC) to the FAA for review and acceptance. An applicant may be anyone who designs, produces, or modifies a small unmanned aircraft.
4.2.2 C ontrol Station (CS). An interface used by the remote pilot or the person manipulating the controls to control the flightpath of the small unmanned aircraft.
4.2.3 C orrective Lenses. Spectacles or contact lenses.
4.2.4 Declaration of Compliance (DOC). A record submitted to the FAA that certifies the small unmanned aircraft conforms to the Category 2 or Category 3 requirements under part 107 subpart D, as described in Chapter 8, Small Unmanned Aircraft Over People.
1 Title 49 U.S.C. § 44809(a) states that a person may operate a small unmanned aircraft without specific certification or operating authority from the FAA if the operation adheres to all of the following limitations: (1) the aircraft is flown strictly for recreational purposes; (2) the aircraft is operated in accordance with or within the programming of a community-based organization’s set of safety guidelines that are developed in coordination with the FAA; (3) the aircraft is flown within Visual Line of Sight (VLOS) of the person operating the aircraft or a visual observer (VO) co-located and in direct communication with the operator; (4) the aircraft is operated in a manner that does not interfere with and gives way to any manned aircraft; (5) in Class B, Class C, or Class D airspace or within the lateral boundaries of the surface area of Class E airspace designated for an airport, the operator obtains prior authorization from the Administrator or designee before operating and complies with all airspace restrictions and prohibitions;
(6) in Class G airspace, the aircraft is flown from the surface to not more than 400 feet above ground level (AGL) and complies with all airspace restrictions and prohibitions; (7) the operator has passed an aeronautical knowledge and safety test described in § 44809(g) and maintains proof of test passage to be made available to the Administrator or law enforcement upon request; and (8) the aircraft is registered and marked in accordance with 49 U.S.C.
chapter 441 and proof of registration is made available to the Administrator or a designee of the Administrator or law enforcement upon request.
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4.2.5 Means of Compliance (MOC). The method an applicant uses to show its small UAS would not exceed the applicable injury severity limit upon impact with a human being, does not contain any exposed rotating parts that would cause lacerations, and does not have any safety defects.
4.2.6 P erson Manipulating the Controls. A person other than the remote pilot in command (PIC) who is controlling the flight of a small unmanned aircraft under the supervision of the remote PIC.
4.2.7 R emote Pilot in Command (Remote PIC or Remote Pilot). A person who holds a Remote Pilot Certificate with a small UAS rating and has the final authority and responsibility for the operation and safety of a small unmanned aircraft operation conducted under part 107.
4.2.8 S mall U nmanned Aircraft. A small unmanned aircraft weighing less than 55 pounds, including everything that is on board or otherwise attached to the aircraft, and can be flown without the possibility of direct human intervention from within or on the aircraft.
4.2.9 S ma ll Unmanned Aircraft System (small UAS). A small unmanned aircraft and its associated elements (including communication links and the components that control the small unmanned aircraft) that are required for the safe and efficient operation of the small unmanned aircraft in the NAS.
4.2.10 U nmanned Aircraft . An aircraft operated without the possibility of direct human intervention from within or on the aircraft (part 1, § 1.1).
4.2.11 V isual Observer (VO). A person the remote PIC designates as a crewmember who assists the small unmanned aircraft remote PIC and the person manipulating the controls to see and avoid other air traffic or objects aloft or on the ground (part 107, § 107.3).
4.2.12 V oluntary Consensus Standards Body. Voluntary consensus standards bodies are domestic or international organizations that plan, develop, establish, or coordinate voluntary standards using agreed-upon procedures. A voluntary consensus standards body observes principles such as openness, balance of interest, and due process. These bodies may include nonprofit organizations, industry associations, accredited standards developers, professional and technical societies, committees, task forces, or working groups.
4-3 Table 4-1. Abbreviations/Acronyms Used in This AC AAAM Association for the Advancement of Automotive Medicine AC Advisory Circular ACR Airman Certification Representative ACS Airman Certification Standards ACTS Airman Certificate Testing Service AD Airworthiness Directive ADM Aeronautical Decision-Making AELP Aviation English Language Proficiency AGL Above Ground Level AIM Aeronautical Information Manual AIS Abbreviated Injury Scale AKTR Airman Knowledge Test Report ASI Aviation Safety Inspector AST Aviation Safety Technician ATC Air Traffic Control ATO Air Traffic Organization AWC Aviation Weather Center C2 Command and Control CFI Certificated Flight Instructor CFR Code of Federal Regulations CG Center of Gravity COA Certificate of Waiver or Authorization CoW Certificate of Waiver CRM Crew Resource Management CS Control Station DHS Department of Homeland Security DOC Declaration of Compliance DOT Department of Transportation DPE Designated Pilot Examiner EDL Enhanced Driver’s License
4-4 EID Enhanced Identification Card EMS Emergency Medical Service ETC Enhanced Tribal Card FAA Federal Aviation Administration FAASTeam FAA Safety Team FAST Free and Secure Trade FCC Federal Communications Commission FRIA FAA-Recognized Identification Area FSDO Flight Standards District Office FTN FAA Tracking Number GCS Ground Control Station GPS Global Positioning System IACRA Integrated Airman Certification and Rating Application ICA Instructions for Continued Airworthiness ICAO International Civil Aviation Organization INS Immigration and Naturalization Service KTC Knowledge Testing Center LOC Loss of Control METAR Aviation Routine Weather Report MMC Merchant Mariner Credential MOC Means of Compliance mph Miles per Hour MSL Mean Sea Level NAS National Airspace System NOTAM Notice to Air Missions NTIA National Telecommunications and Information Administration NTSB National Transportation Safety Board NWS National Weather Service PIC Pilot in Command PL Public Law RF Radio Frequency ROC Regional Operations Center
4-5 sm Statute Mile TAF Terminal Aerodrome Forecast TFR Temporary Flight Restriction TSA Transportation Security Administration TWIC Transportation Worker Identification Credential UAS Unmanned Aircraft System U.S.C. United States Code USCIS U.S. Citizenship and Immigration Services VLOS Visual Line of Sight VO Visual Observer W&B Weight and Balance WINGS Pilot Proficiency Program
4.3 Falsification, Reproduction, or Alteration. The FAA relies on information provided by owners and remote pilots of small UAS when it authorizes operations or when it has to make a compliance determination. Accordingly, the United States government may take appropriate action against a small UAS owner, operator, remote PIC, applicant for a DOC, or anyone else who fraudulently or knowingly provides false records or reports, or otherwise reproduces or alters any records, reports, or other information for fraudulent purposes. Such action could include the FAA’s imposition of civil sanctions and the suspension or revocation of a certificate or waiver (§ 107.5).
4.4 Accident Reporting. The remote PIC of the small unmanned aircraft is required to report an accident to the FAA within 10 days if it meets any of the following thresholds:
1. At least serious injury to any person or any loss of consciousness. A serious injury is an injury that qualifies as Level 3 or higher on the Abbreviated Injury Scale (AIS) of the Association for the Advancement of Automotive Medicine (AAAM). The AIS is an anatomical scoring system that provides a means of ranking the severity of an injury and is widely used by emergency medical personnel. The FAA currently uses serious injury (AIS Level 3) as an injury threshold in other FAA regulations.
AIS 3 Example: A person requires hospitalization, but the injury can fully heal (including, but not limited to, head trauma, broken bone(s), or laceration(s) to the skin that requires suturing).
2. Damage to any property, other than the small unmanned aircraft, if the cost is greater than $500 to repair or replace the property (whichever is lower).
Example: A small unmanned aircraft damages a property with a fair market value of $200, and it would cost $600 to repair the damage. Because the fair
4-6 market value is below $500, this accident is not required to be reported.
Similarly, if the aircraft causes $200 worth of damage to property with a fair market value of $600, that accident is also not required to be reported because the repair cost is below $500 (§ 107.9).
4.4.1 S ubmitting the Report . The accident report must be made within 10 calendar-days of the operation that created the injury or damage. The report may be submitted to the appropriate FAA Regional Operations Center (ROC) electronically or by telephone.
Electronic reporting can be completed at https://www.faa.gov/uas/. To make a report by phone, see Figure 4-1, FAA Regional Operations Centers Telephone List. Reports may also be made to the responsible Flight Standards office (refer to https ://www.faa.gov/about/office_org/field_offices/fsdo/ ). The report should include the following information:
1. S mall UAS remote PIC’s name and contact information;
2. Small UAS remote PIC’s FAA airman certificate number;
3. Small UAS registration number issued to the aircraft (FAA registration number);
4. Location of the accident;
5. Date of the accident;
6. Local time of the accident;
7. Whether any serious injury or fatality occurred;
8. Property damaged and extent of damage, if any or known; and
9. Description of what happened.
Figure 4-1. FAA Regional Operations Centers Telephone List
FAA REGIONAL OPERATIONS CENTERS LOCATION WHERE ACCIDENT OCCURRED: TELEPHONE:
DC, DE, MD, NJ, NY, PA, WV, and VA 404-305-5150 AL, CT, FL, GA, KY, MA, ME, MS, NC, NH, PR, RI, SC, TN, VI, and VT 404-305-5156 AK, AS, AZ, CA, CO, GU, HI, ID, MP, MT, NV, OR, UT, WA, and WY 425-227-1999 AR, IA, IL, IN, KS, LA, MI, MN, MO, ND, NE, NM, OH, OK, SD, TX, and WI 817-222-5006
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4.4.2 National Transportation Safety Board (NTSB) Reporting. In addition to the report submitted to the ROC, and in accordance with the criteria established by the NTSB, certain small unmanned aircraft accidents must also be reported to the NTSB. NTSB’s regulations, codified at 49 CFR part 830, require immediate notification when an aircraft accident occurs. NTSB regulations define an “unmanned aircraft accident” as an occurrence associated with the operation of any public or civil UAS that takes place between the time that the system is activated with the purpose of flight and the time that the system is deactivated at the conclusion of its mission, in which any person suffers death or serious injury, or the aircraft has a maximum gross takeoff weight of 300 pounds or greater and sustains substantial damage. NTSB regulations contain specific definitions for “serious injury” and “substantial damage” (49 CFR part 830, § 830.2). For more information, visit https://www.ntsb.gov.
5-1 CHAPTER 5. PART 107 SUBPART B, OPERATING RULES (SMALL UAS)
5.1 Applicability. This chapter provides guidance regarding small unmanned aircraft operating limitations and the responsibilities of the remote pilot in command (PIC), person manipulating the controls, visual observer (VO), and anyone else who may directly participate in the small UAS operation. A person is a direct participant in the small UAS operation if their involvement is necessary for the safe operation of the small UAS.
5.2 Aircraft Operation. Just like a manned-aircraft PIC, the remote PIC of a small unmanned aircraft is directly responsible for and is the final authority for the safe operation of the small unmanned aircraft (§ 107.19). Additionally, a person manipulating the controls (who is not the remote PIC) can participate in flight operations under certain conditions. It is important to note that a person may not operate or act as a remote PIC or VO in the operation of more than one small unmanned aircraft at the same time (§ 107.35). The following items describe the requirements for both a remote PIC and a person manipulating the controls.
5.2.1 Remote PIC. A person acting as a remote PIC of a small UAS under part 107 must obtain a Remote Pilot Certificate with a small UAS rating issued by the FAA prior to small UAS operation (§ 107.12). The remote PIC must have, in that person’s physical possession and readily accessible, this certificate and personal identification during flight operations (§§ 107.7 and 107.67(b)(1) through (3)). Guidance regarding remote pilot certification is found in Chapter 6, Part 107 Subpart C, Remote Pilot Certification.
5.2.1.1 Part 107 permits transfer of control of a small UAS between certificated remote pilots. Two or more certificated remote pilots transferring operational control (i.e., the remote PIC designation) to each other may do so only if they are both capable of maintaining Visual Line of Sight (VLOS) of the small unmanned aircraft without loss of control (LOC). One remote pilot may be designated the remote PIC at the beginning of the operation, and at some point in the operation another remote pilot may take over as remote PIC by positively communicating the transfer of control. The remote PIC assuming control of the small UAS maintains responsibility for the safe operation of the small UAS.
5.2.2 Person Manipulating the Flight Controls. A person who does not hold a Remote Pilot Certificate or a remote pilot who has not met the recurrent training requirements of part 107 may operate the small UAS under part 107, as long as they are directly supervised by a remote PIC and the remote PIC has the ability to take immediate, direct control of the small UAS. This ability is necessary to ensure the remote PIC can quickly address any hazardous situation. The ability of the remote PIC to take over the flight controls immediately could be achieved by using a number of different methods. The operation could involve a “buddy box” type system that uses two control stations (CS):
one for the person manipulating the flight controls and one for the remote PIC that allows the remote PIC to override the other CS and immediately take direct control of the small unmanned aircraft (§ 107.19). Another method could involve the remote PIC standing
5-2 close enough to the person manipulating the flight controls so that they would be able to physically take over the CS from the other person. Another method could employ the use of an automation system where the remote PIC could immediately engage that system to put the small unmanned aircraft in a pre-programmed “safe” mode such as a hover, a holding pattern, or “return home.”
5.2.3 A utomated Operations. An automated operation is generally considered an operation in which the remote pilot inputs a flight plan into the CS, which sends the flight plan to the autopilot on board the small unmanned aircraft. During automated flight, flight control inputs are made by components on board the aircraft, not from a CS. If the remote PIC loses the control link to the small unmanned aircraft, the aircraft would continue to fly the programmed mission/return home to land. During automated flight, the remote PIC must have the ability to change routing/altitude or command the aircraft to land immediately.
The ability to direct the small unmanned aircraft may be through manual manipulation of the flight controls or through commands using automation.
5.2.3.1 Th e remote PIC must retain the ability to direct the small unmanned aircraft to ensure compliance with the requirements of part 107. The remote PIC may transmit a command for the automated aircraft to climb, descend, land now, proceed to a new waypoint, enter an orbit pattern, or return to home. Any of these methods may be used to avoid a hazard or give right-of-way.
5.2.3.2 The use of automation does not allow a person to operate more than one small unmanned aircraft simultaneously (§ 107.35).
5.3 Aeronautical Decision-Making (ADM) and Crew Resource Management (CRM).
ADM is a systematic approach to the mental process used by pilots to determine consistently the best course of action in response to a given set of circumstances. A remote PIC uses many different resources to safely operate a small unmanned aircraft and needs to be able to manage these resources effectively. CRM is a component of ADM, in which the pilot of a small unmanned aircraft makes effective use of all available resources: human resources, hardware, and information. Many remote pilots operating under part 107 may use a VO, oversee other persons manipulating the controls of the small UAS, or any other person with whom the remote PIC may interact to ensure safe operations. Therefore, a remote PIC must be able to function in a team environment and maximize team performance. This skill set includes situational awareness, proper allocation of tasks to individuals, avoidance of work overloads for themselves and in others, and effectively communicating with other members of the crew, such as VOs and persons manipulating the controls of a small unmanned aircraft. Appendix A, Risk Assessment Tools, contains expanded information on ADM and CRM, as well as sample risk assessment tools to aid in identifying hazards and mitigating risks.
5.4 A ircraft Registration. A small unmanned aircraft must be registered, in accordance with part 47 or part 48, prior to operating under part 107. Part 48 is the regulation that establishes the streamlined online registration option for small unmanned aircraft that will be operated only within the territorial limits of the United States. The online registration website is https://faadronezone.faa.gov/. Guidance regarding small
5-3 unmanned aircraft registration and marking may be found at https://www.faa.gov/licenses_certificates/aircraft_certification/aircraft_registry/.
Alternatively, small unmanned aircraft owners or operators can elect to register under part 47 in the same manner as manned aircraft.
5.4.1 Registration and Permit for Foreign-Owned and Operated Sm all UAS. If small UAS operations involve the use of foreign civil aircraft, the operator would need to obtain a Foreign Aircraft Permit pursuant to 14 CFR part 375, as described in § 375.41, before conducting any commercial air operations under this authority. Foreign civil aircraft means (a) an aircraft of foreign registry that is not part of the armed forces of a foreign nation, or (b) a U.S.-registered aircraft owned, controlled, or operated by persons who are not citizens or permanent residents of the United States. Application instructions are specified in § 375.43. Applications should be submitted by electronic mail to the Department of Transportation (DOT) Office of International Aviation, Foreign Air Carrier Licensing Division at https://cms.dot.gov/policy/ aviation-policy/licensing/for eign-carriers. Foreign-owned and operated small UAS must be registered, as provided for under part 47 or part 48, including submission of an Affidavit of Ownership for Unmanned Aircraft, if necessary. Additional information can be obtained at https://www.faa.gov/licenses_certificates/aircraft_certification/aircraft_registry/UA/.
(Refer to Title 49 of the United States Code (49 U.S.C.) § 44101(b)(1) for exceptions.)
5.5 S mall U nmanned Aircraft Maintenance, Inspections, and Condition for Safe Operation. A small unmanned aircraft must be maintained in a condition for safe operation. Prior to flight, the remote PIC is responsible for conducting a check of the small unmanned aircraft to verify it is actually in a condition for safe operation (§ 107.15). Guidance regarding how to determine that a small unmanned aircraft is in a condition for safe operation is found in Chapter 7, Sm all U nmanned Aircraft Maintenance and Inspection.
5.6 M edical Condition. Being able to operate the small unmanned aircraft safely relies on, among other things, the physical and mental capabilities of the remote PIC, person manipulating the controls, VO, and any other direct participant in the small UAS operation. Though the person manipulating the controls of a small unmanned aircraft and VO are not required to obtain an airman medical certificate, they cannot participate in the operation of a small UAS if they know or have reason to know that they have a physical or mental condition that could interfere with the safe operation of the small UAS (§ 107.17).
5.6.1 P hysical or Mental Incapacitations. Obvious examples of physical or mental incapacitations that could render a remote PIC, person manipulating the controls, or VO incapable of performing their small UAS operational duties include, but are not limited to, such things as:
1. T he temporary or permanent loss of the dexterity necessary to operate the CS to control the small unmanned aircraft safely.
2. The inability to maintain the required “see and avoid” vigilance due to blurred vision.
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3. The inability to maintain proper situational awareness of the small unmanned aircraft operations due to illness and/or medication(s), such as after taking medications that caution against driving or operating heavy machinery.
4. A debilitating physical condition, such as a migraine headache or moderate or severe body ache(s) or pain(s) that would render the remote PIC, person manipulating the controls, or VO unable to perform small UAS operational duties.
5. A hearing or speaking impairment that would inhibit the remote PIC, person manipulating the controls, or VO from effectively communicating with each other. In such a situation, the remote PIC must ensure they implement an alternative means of effective communication. For example, a person who is hearing impaired may be able to use sign language to communicate effectively.
5.7 Civil Twilight and Operations at Night. Night is defined in § 1.1 as the time between the end of evening civil twilight and the beginning of morning civil twilight, as published in The Air Almanac, converted to local time. In the continental United States, evening civil twilight is the period of sunset until 30 minutes after sunset and morning civil twilight is the period of 30 minutes prior to sunrise until sunrise. In Alaska, the definition of civil twilight differs and is described in The Air Almanac. The Air Almanac provides tables to determine sunrise and sunset at various latitudes. These tables can also be downloaded from the Naval Observatory and customized for a particular location. The link for the Naval Observatory is https://www.usno.navy.mil/search?SearchableText=air+ almanac+.
5.7.1 Civil Twilight Operations. When small UAS operations occur during civil twilight, the small unmanned aircraft must be equipped with anti-collision lighting visible for at least 3 statute miles (sm). However, the remote PIC may reduce the visible distance of the lighting to less than 3 sm during flight if they have determined that it would be in the interest of safety to do so. For more information on this determination, see paragraph 5.7.2.2.
5.7.2 Operations at Night. Small UAS operations at night may occur only under the two risk mitigation measures listed in § 107.29. First, the remote PIC must have completed either an initial knowledge test or recurrent training that have been updated to include night operations. Second, the small unmanned aircraft must have lighted anti-collision lighting that is visible for at least 3 sm. The remote pilot may rely upon manufacturer statements indicating the anti-collision lighting is visible for 3 sm. However, the remote pilot ultimately remains responsible for verifying that anti-collision lighting is operational, visible for 3 sm, and has a flash rate sufficient to avoid a collision at the operating location.
5.7.2.1 A certificated remote pilot receives night operations privileges and may operate at night only after completing either a knowledge test that contains questions on night physiology and night visual illusions, or through completion of recurrent training. The recurrent training contains the topics of night physiology and night visual illusions. Chapter 6 provides a detailed explanation of both paths for night operations privileges.